SEC Form 4 · accession 0001071739-18-000155
CENTENE CORP · CNC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark J Brooks
Officer — EVP, Chief Information Officer
Period of report
Dec 18, 2018
Accepted (ET)
Dec 20, 2018 · 5:02 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001071739
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 18, 2018 | S | 2,540 | $121.26 | D | 58,868 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF3,F4 | $0.00 | holding | — | — | — | Dec 29, 2016 | Dec 29, 2016 | Common Stock | 152 | 152 | D |
Explanation of responses
- F1This sale is pursuant to a 10b5-1 Trading Plan that was established on November 9, 2018.
- F2Ownership includes 46,828 shares of restricted stock units subject to vesting requirements.
- F3Each share of phantom stock represents the right to receive the fair market value of one share of Centene common stock.
- F4The phantom stock has no formal expiration date. The phantom stock will be settled in cash or other non-Company securities upon Mr. Brooks' termination with the Company or on such other date Mr. Brooks may elect.